Serviing Investors and Advisors Nationwide
With 30 years of experience as a securities lawyer, Mark knows knows what it takes to effectively, and efficiently, handle litigation matters - when to settle, and when to take the case to a final hearing. Mark has litigated virtually every securities law claim imaginable and can effectively guide you through the process.
Defense of SEC and FINRA investigations, routine exams, 8210 requests, OTRs and Wells Notices are the main stay of Mark's practice. From customer complaints to insider trading investigations, his experience in these proceedings, as well as in the practical aspects of operating a broker-dealer, can provide the experience that you need.
Representation of broker-dealers, investment advisers in all employment related issues, including employment agreements, separation agreements, litigation, promissory notes, and all aspects of the relationship.
The Securities and Exchange Commission today adopted amendments to finalize rules implementing the submission and disclosure requirements in the Holding Foreign Companies Accountable Act (HFCAA). The rules apply to registrants the SEC identifies as…
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The Securities and Exchange Commission today charged a Latvian citizen with defrauding hundreds of retail investors out of at least $7 million through two separate fraudulent digital asset securities offerings. According to the civil complaint, filed in…
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